Raymond James Financial, Inc. Advisor, Supervision - Ad Review in St. Petersburg, Florida
*REMOTE WORK OPTION FOR REGISTERED FINANCIAL SERVICES PROFESSIONALS WITH COMPLIANCE ADS REVIEW & MARKETING EXPERIENCE AND FULLY LICENSED
Job Summary & Responsibilities:
Raymond James is hiring a Supervision Advisor to complete ongoing functional reviews and provide advanced support to our Financial Advisor teams, focusing specifically on the policies and procedures required by the SEC for broker-dealer advertising and marketing material.
Our ideal contributor will:
Serve as a trusted business partner to our Financial Advisor teams by providing expertise with financial services related supervision and compliance issues.
Coordinate supervision functions, guide compliance efforts, and act as a liaison between functional areas.
Have confidence in making recommendations based on research and analysis conducted by the Supervision Advisor.
Maintain frequent contact and establish positive relationships with our field offices, via phone and email, through reactive and proactive measures.
Act as the go-to supervision partner for technical issues, ongoing training, and all supervision related questions and concerns from the investment teams as well as internal support departments.
Those with active FINRA Series 7 & Series 24 Licenses, or the ability to quickly attain, will be highly valuable for this role.
Essential Duties and Responsibilities:
Coaches and mentors less experienced supervision associates.
Oversees supervision program for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.
Directs adjustments to existing programs, policies and procedures, as required.
Ensures that compliance activities are commensurate with the level of risk being mitigated.
Provides escalated support and guidance to compliance efforts in assigned business entity.
Informs appropriate Senior Management about issues that may involve rule violations or potential liability.
Assists Management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.
Researches compliance issues.
Alerts Senior Management of current regulatory issues.
Researches, interprets and translates regulatory rules and regulations for Senior Management.
Monitors exception and other internal reports for employee adherence with rules and regulations.
Advises Senior Supervision Management on issues that involve possible rule violations and potential liability.
Addresses sensitive compliance issues with Management in assigned functional area.
Participates in corporate policy discussions related to compliance.
Reviews documentation related to compliance issues for validity and alignment with organizational policies.
Prepares and delivers written and oral presentations to senior management.
May coordinate and/or oversee responses to regulatory agency inquiries.
Develops compliance training programs in conjunction with other compliance activities, as well as maintains training records.
Reports supervision program status and activities to supervision and business management personnel.
Manages relevant external examinations, ensuring that requested information and reports are provided.
Prepares and delivers written and oral presentations to Management.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Advanced knowledge of:
Concepts, practices and procedures of securities industry and/or banking compliance reviews.
Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.
Fundamental investment concepts, practices and procedures used in the securities industry.
Principles of banking and finance and securities industry operations.
Financial markets and products.
Overseeing supervision programs.
Integrating and aligning supervision processes and procedures with business processes.
Coordinating complex supervision activities.
Providing support and guidance for compliance efforts.
Identifying and implementing controls and quality assurance processes.
Reviewing materials for compliance with rules and regulations.
Researching compliance issues.
Developing compliance training programs.
Gathering information and preparing oral and written reports.
Preparing and delivers written and oral presentations.
Investigating relevant irregularities.
Making rule-based and analytical decisions.
Operating standard office equipment and using required software applications.
Partner with other functional areas to accomplish objectives.
Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
Attend to detail while maintaining a big picture orientation.
Gather information, identify linkages and trends and apply findings to assignments.
Interpret and apply securities and/or banking regulations and identify and recommends policy and procedural changes as appropriate.
Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
Work independently as well as collaboratively within a team environment.
Provide a high level of customer service.
Establish and maintain effective working relationships at all levels of the organization.
Maintain currency in securities and/or banking industry rules and regulations and best practices in supervision.
Educational/Previous Experience Requirements:
- Bachelor’s degree (B.A. /B.S.) and a minimum of three (2) years of Compliance or Supervision experience.
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
- Series 7 and Series 24 required. Series 9/10 preferred
Job: Auditing & Compliance
Organization: Private Client Group
Title: Advisor, Supervision - Ad Review
Location: FL-St. Petersburg-Saint Petersburg
Requisition ID: 1900451